FCA and regulatory disputes

Reporting on non-compliance

The Financial Conduct Authority (FCA formerly known as the FSA) and other regulators are tightening up on compliance, and penalties for operating outside regulatory rules are increasing.

We report on investigations conducted by the FCA and other regulatory bodies that deal with alleged non-compliance with the rules set out by those bodies.

We provide an independent assessment of any losses attributable to the alleged breach and consider mitigating circumstances.

Typical types of cases can include:

FCA investigations into the proper segregation of client funds and assets;

Investigations into the correct application of accounting policies and standards;

Law Society investigations into the misuse of client funds under solicitors’ accounts rules;

HMRC investigations into compliance with tax regulations

Our reports and giving evidence in court

Our reports remain independent, impartial and tailored to suit the needs of all parties involved. Furthermore, we have experience of giving evidence in court or at tribunal stage should the need arise.

If you would like to discuss how we can help or for more information please contact your local office.